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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-08 |
| NJ | RA | APPROVED | 2024-11-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santander Bank Na | Boston | MA | 07/2017 | 08/2018 |
| Santander Securities Llc | Dorchester | MA | 07/2017 | 08/2018 |
| Pnc Bank | Madison | NJ | 06/2016 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Florham Park | NJ | 08/2018 | 11/2021 |
| Compass Private Wealth Group Llc | Short Hills | NJ | 11/2021 | 08/2024 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Westfield | NJ | 07/2024 | Present |
I*4759285, Entity Type: Entity For Profit, Name of OBA: Griffin & Howe, Address: ANDOVER, New Jersey, 07821, Investment Related: N, Position, Title, Association: ["Other"], Employee Start Date: 07/19/2026, No Hours: 6 Monthly, No Hours during Trading: 0 Monthly, Duties: PART TIME RANGE SAFETY OFFICER, PRIVATE GUN RANGE
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-10-14 |
| S65 | Uniform Investment Adviser Law Examination | 2019-05-28 |
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